Merrill Lynch

Broker Jacquin Fink in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 8, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jacquin Fink (Fink), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Fink concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on August 19, 2022.

The customer alleges unsuitable investment recommendations, churning and misrepresentations.

There are Recent Customer Complaints with Broker Todd Dorschel in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Dorschel (Dorschel), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Dorschel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $14,000.00 on August 24, 2022.

Claimant alleged that, in or around March 2015, representative sold claimant two unsuitable alternative investment products but did not tell claimant that such products were speculative, illiquid, and non-traded, and that claimant May not be able to get claimant’s money back.

Broker Bernard Adair in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Bernard Adair (Adair) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Adair was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated at the time of the activity. If you have been a victim of Adair’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint on September 06, 2022.

The court-appointed guardian of the customer alleges misappropriation of funds from 2017 through 2019, misrepresentations, unsuitable investment strategy and facilitated transactions which were not in the best interest of the customer.

Broker Gregory Degraeve in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Degraeve (Degraeve), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Degraeve recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 12, 2022.

Client alleges investment recommendations made by financial advisor from August 2020 to December 2022 were not in their best interest.

Broker G Schein in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker G Schein (Schein), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Schein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $900,000.00 on December 13, 2022.

Customer alleges unsuitable investments and misrepresentations.

Broker Mustapha Fawal in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mustapha Fawal (Fawal), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fawal recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 13, 2025.

Customer alleges misrepresentation of interest rate in June 2025.

There are Recent Customer Complaints with Broker Maceo Sloan in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

November 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Maceo Sloan (Sloan), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Sloan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on July 29, 2025.

Client alleges misrepresentation of tax consequences related to the surrender of variable universal life insurance policies.

There are Recent Customer Complaints with Broker Blake Scherr in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 31, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Blake Scherr (Scherr), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Scherr recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,000,000.00 on September 12, 2025.

Client alleges improper solicitation of an account from 9/2024 to 5/2025.

There are Recent Customer Complaints with Broker Yao Tang in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

October 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yao Tang (Tang), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Tang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on August 30, 2025.

Customer alleges that the Registered Representative failed to follow instructions in 2024.

Broker Lino Gutierrez in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

October 27, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lino Gutierrez (Gutierrez), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Gutierrez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on September 26, 2025.

The customer alleges unsuitable investments and misrepresentations.